Karen Schaefer
Ombuds Program

A major component of the Governor's Efficiency Management (GEM) approach to managing is to provide people with open communication and information about issues that affect their work life. With that in mind, we at DPA feel that it is necessary to provide a centralized, easily accessible resource that offers objective information, resources and options to members of the classified state workforce in addressing workplace concerns. To that end, we are excited to introduce the new Ombuds program. The individual that will fill this new role is Karen Schaefer, and her description of the program and the services it provides is described below.

Please note that the Ombuds program is not replacing any of the services and processes currently available to classified State employees. This program is in addition to those options, and is intended to help employees learn what choices for resolution to workplace issues are available to them.

State of Colorado Ombuds Program: Beginning Workplace Transformation

Workplace conflict exists in many places in state government. There are varied reasons for this yet all state employees are affected by the major changes that have occurred in state government over the last few years. All of us are doing more work with fewer resources. Various initiatives and difficult financial times have eroded many state employee’s sense of job security. This has increased anxiety at all levels and anxiety in an organization is contagious. It is communicated in patterned ways and spreads rapidly. With changes in the legislature and the executive branch, many adjustments are being made in the workplace, often with a lack of attention to the human side of change – how to help all state employees adapt to the change and feel included. With budgets so tight, employees not performing at maximum levels are under significant pressure. Yet the tendency is to limit staff development and support, which limits the employee’s ability to excel. A fear-based environment is often the result. Surviving, not thriving, becomes the goal. Trust, vertically and horizontally, is diminished or nonexistent, and destructive behaviors result. We need to change this unhealthy environment for all of us by taking concrete steps to reduce workplace fear and insecurity, making work a place we want to be.

The Ombuds Office (pronounced “ahm – buds”) is being established to create an alternate communications channel and conflict resolution resource where any state personnel system employee, supervisor, or manager may obtain assistance in surfacing and resolving state work-related issues. The intent is to help every voice in the state personnel system be heard and receive impartial attention without fear of reprisal, retaliation, or loss of privacy.

How might the Ombuds Office help?
• By helping to surface information when people are afraid to come forward; By helping to clarify and resolve a conflict;
• By helping to develop and evaluate options or courses of action, and assisting employees in knowing how to pursue an option;
• By looking into a problem informally (with permission) and, when appropriate, presenting recommendations to appropriate persons;
• By recommending change to appropriate individuals.

How does the Ombuds do this?
The effectiveness of the Ombuds is grounded in four principles established by the International Ombudsman Association:

Independence
The Ombuds position reports directly to the Executive Director of DPA and will not take on any other roles that might compromise, or appear to compromise, independence. This is to ensure that the Ombuds is able to move unimpeded by the politics of the organization as much as possible. The Ombuds is not part of line management, does not make management decisions, and cannot compel anyone to take any particular course of action. The Ombuds does have access to all information and all individuals in the organization, as permitted by law, and may initiate informal action on an individual’s concern, an identified trend, or concerns of multiple individuals over time.

Informality
The Ombuds functions as an informal and off-the-record resource in pursuing resolution of concerns, and looking into procedural irregularities and/or broader systemic problems when appropriate. It identifies trends, issues and concerns about policies and procedures, including potential future issues and concerns, without breaching confidentiality or anonymity, and provides recommendations for responsibly addressing them. The Ombuds does not:
• participate in any formal investigative or adjudicative procedures;
• keep any formal records;
• receive formal notice on behalf of the State for such complaints as sexual harassment, discrimination, etc.;
• replace any formal dispute channels;
• make binding decisions, mandate policies, or formally adjudicate issues for the state.

Neutrality/Impartiality
Neutrality/Impartiality is a commitment to fairness. The Ombuds advocates for fair and equitably administered processes, and considers the legitimate concerns and interests of all individuals affected by the matter under consideration. As a “designated neutral,” the Ombuds
officially represents no one and represents everyone and the organization equally. The Ombuds is not aligned with any compliance function of the State and has no personal interest or stake in the outcome of the issue.

Confidentiality
The Ombuds holds all communications with those seeking assistance in strict confidence. The communications are considered privileged and this privilege belongs to the to an issue. Others cannot waive this privilege. The only exception to this privilege of confidentiality is where there appears to be imminent risk of serious harm, and where there is no other reasonable option. If the Ombuds pursues an issue systemically (e.g., provides feedback on trends, issues, policies and practices), it is done in a manner that safeguards the identity of individuals. Again, the Ombuds keeps no records containing identifying information on behalf of the organization. Because of confidentiality and the open sharing which generally results from it, issues are known in more detail, motives exposed more readily, and solutions explored are likely to be longer lasting and generally more effective for all.

How does the Ombuds role differ from other dispute resolution options within the State?
Like human resources professionals, the Ombuds informs employees and management about relevant policies, procedures, and rights. However, unlike them, the Ombuds does not develop policies or procedures; does not impart authoritative interpretations of, or defend or enforce, policies and procedures; and does not participate in formal arenas, such as appeals, grievances, Director’s reviews, or lawsuits.

Like the mental health and organizational development professionals working in employee assistance programs such as the Colorado State Employees Assistance Program (C-SEAP), the Ombuds deals with underlying concerns and needs. Both the Ombuds and EAP professionals are concerned with identifying and preventing potential problems in the workplace. However, while both address workplace conflict with individuals and groups, the Ombuds also gathers aggregate data that is valuable to the organization in analyzing areas to be improved and examining interventions or changes in management practice.

Like those who handle certain compliance-related functions (such as audits, whistle blower issues, and nondiscrimination), the Ombuds encourages people to report wrongdoing, helps them learn about and gain access to their rights, and assists them in finding safe ways to come forward. However, unlike compliance offices, the Ombuds does not function as an office of record or notice. Like mediators, the Ombuds may help mediate interpersonal conflicts (either directly or through “shuttle” mediation), and assists in untangling tough problems. Unlike the mediator who stays within the boundaries of the issue and parties present, the Ombuds can expand the concerns brought by the parties and include other organizational levels and problem solving methods.

Who, When, and Where?
Karen Schaefer has been appointed to this new Ombuds position. Karen is a Colorado native and grew up in north Denver. She has been with state government since 1994 doing human resources work– seven years with CU-Boulder and six years with DPA in the Division of Human Resources. Overall, Karen’s experience includes over 25 years of human resources, labor relations and consulting work in both government and private industry. She completed her Bachelor’s degree at the University of Chicago, has taken numerous post graduate courses and received certifications in the labor relations and human resources professions.

The Ombuds Office opened on May 14, 2007.